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How long does it take to process a U4 form?

Form U4 can be filed electronically by the broker-dealer firm on behalf of an associated person requiring registration. After the form is received electronically at the Central Registration Depository (CRD), FINRAs review is completed within approximately 15 days, barring any inaccuracies.

What is the difference between U4 and U10 form?

An individuals firm can schedule a candidate to take the exam by filing Form U4 and paying the $175 examination fee. If an individual is not firm-registered, the candidate uses Form U10 to request and pay for the exam.

How often does a U4 need to be updated?

Updating Your Form U4 Disclosures You should update your Form U4 whenever there are changes in your disclosure status that is, whenever a reportable event occurs or is resolved (e.g., when a criminal case is dismissed or tax lien is resolved).

What is the U4 form for employment history?

Form U4 Section: 12. A minimum of ten (10) years of employment must be provided. The individuals employment with the filing firm should be the first entry. All fields must be completed on each employment record. There may not be gaps of more than three (3) months between employment records.

Who needs to file a U4 form?

The Form U4 is the Uniform Application for Securities Industry Registration or Transfer. Representatives of broker-dealers, investment advisers, or issuers of securities must use this form to become registered in the appropriate jurisdictions and/or SROs.

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How do I access my U4 form?

Once your firm has sent a Form U4 filing to you for e-signature, a yellow banner will display in FinPros Reminders section with a link to the filing. After clicking the Open Filing link, the filing will open read-only in another browser tab.

How do I edit a form on U4?

Amendments must be filed electronically (unless the filer is an approved paper filer) by updating the appropriate section of Form U4. A copy, with original signatures, of the initial Form U4 and amendments to DRPs U4 must be retained by the filing firm and must be made available for inspection upon regulatory request.

Who completes Form U4?

Entitled system users at broker-dealer and investment adviser firms can file Form U4 electronically to fulfill securities registration and licensing requirements for registered representatives and investment adviser representatives.

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